Conservation and Revitalisation of Cultural and Natural ... Guide.pdf · Revitalisation of Cultural...
48
Conservation and Revitalisation of Cultural and Natural Heritage CALL FOR LARGE PROJECTS GUIDE FOR APPLICANTS Bucharest January 2014
Transcript of Conservation and Revitalisation of Cultural and Natural ... Guide.pdf · Revitalisation of Cultural...
Conservation and Revitalisation of Cultural and
Natural Heritage
CALL FOR LARGE PROJECTS
GUIDE FOR APPLICANTS
Bucharest
January 2014
2
TABLE OF CONTENTS
TABLE OF CONTENTS ............................................................................................................. 2
GLOSSARY OF TERMS AND ABBREVIATIONS ...................................................................... 4
1. INTRODUCTION ................................................................................................................. 8
2. INSTITUTIONAL AND LEGAL FRAMEWORK ....................................................................... 9
2.1 Institutional framework ...................................................................................................................... 9
2.2 The legal framework of the EEA Financial Mechanism 2009-2014 .................................................... 9
3. OBJECTIVES ....................................................................................................................... 11
3.1 The objectives of the EEA Financial Mechanism 2009-2014 ............................................................ 11
3.2 The objectives of the Programme .................................................................................................... 11
3.3 Outcomes and outputs of the Programme ...................................................................................... 11
4. CROSS-CUTTING ISSUES .................................................................................................. 12
5. FINANCIAL ALLOCATION ................................................................................................... 13
5.1 Total financial allocation .................................................................................................................. 13
5.2 Financial allocation per Programme outcome ................................................................................. 13
5.3 Financial allocation per projects....................................................................................................... 13
5.4 Co-financing ...................................................................................................................................... 14
6. ELIGIBILITY ......................................................................................................................... 14
6.1 Eligible applicants ............................................................................................................................. 14
6.2 Eligible project partners ................................................................................................................... 16
6.3 Eligible activities ............................................................................................................................... 17
6.4 Target groups ................................................................................................................................... 18
6.5. Eligible expenditures ....................................................................................................................... 19
6.5.1 List of eligible expenditures ....................................................................................................... 19
6.5.2 General conditions .................................................................................................................... 21
6.5.3 Excluded expenditures .............................................................................................................. 22
6.5.4 The budget of the project .......................................................................................................... 22
6.6 Duration of the project ..................................................................................................................... 22
7. PUBLIC PROCUREMENTS ................................................................................................. 22
8. USE OF THE EURO CURRENCY ........................................................................................ 25
9. STATE AID ........................................................................................................................... 26
10. SUBMISSION OF APPLICATIONS .................................................................................... 26
10.1 The content of the application dossier .......................................................................................... 26
10.2 Submission of the application dossier ............................................................................................ 31
3
11. EVALUATION AND SELECTION ....................................................................................... 32
11.1 Verification of administrative compliance and eligibility ............................................................... 32
11.2 Technical and financial evaluation ................................................................................................. 38
11.3 Project selection procedure ........................................................................................................... 40
12. CONTRACTING ................................................................................................................. 41
13. IMPLEMENTATION AND FINANCIAL MANAGEMENT ...................................................... 42
13.1 Provisions regarding payments ...................................................................................................... 42
13.2 Reporting ........................................................................................................................................ 43
13.3 Verification and approval of reports .............................................................................................. 43
13.4 Monitoring the implementation of the projects ............................................................................ 44
13.5 Provisions regarding irregularities.................................................................................................. 44
14. INFORMATION AND PUBLICITY MEASURES .................................................................. 45
15. QUERIES ........................................................................................................................... 46
16. CONTACT DETAILS .......................................................................................................... 47
ANNEXES ................................................................................................................................ 48
4
GLOSSARY OF TERMS AND ABBREVIATIONS
Abbrevia- tion
Term Definition and/or the piece of legislation that defines the term, if applicable
EEA FM EEA Financial
Mechanism
Financial assistance granted by donor states – Norway, Iceland and Liechtenstein - by virtue of participation to the free trade area. The assistance is aimed at reducing economic and social disparities in the EEA and strengthening bilateral relations between Romania and the donor states.
EEA European Economic
Space
Free Trade Agreement, established in 1994 between the European Community and the European Free Trade Association, which brings together EU member states and three states (Norway, Iceland and Liechtenstein), in an internal market based on free movement of goods, services and capital.
FMC Financial Mechanism
Committee
The Committee designated to manage the EEA Financial Mechanism 2009-2014 and to make decisions about granting the financial assistance in compliance with the Regulation on the implementation of the EEA Financial Mechanism 2009-2014, respectively the PA16/RO12 Programme.
FMO EEA Financial
Mechanism Office
Office supporting the Financial Mechanism Committee in managing the EEA Financial Mechanism 2009-2014, respectively the PA16/RO12 - Conservation and Revitalisation of Cultural and Natural Heritage Programme; it serves as a contact point between the PO and FMC.
DS Donor States
States of the European Free Trade Association - Norway, Iceland and Liechtenstein, which provide non-reimbursable assistance to Romania through the EEA Financial Mechanism.
NFP National Focal Point The entity which coordinates the EEA assistance. In Romania, this entity is the EEA Assistance Department of the Ministry of European Funds.
CA Certification Authority
The national level entity that certifies the amounts included in the expenditure statements submitted to FMO and receives the amounts transferred to Romania, the PA16/RO12 programme included. In Romania, this entity is the Ministry of Public Finance.
AA Audit Authority
The entity carrying out the external audit of EU funds in compliance with their internal procedures and accepted international auditing standards. In Romania, this entity is the Ministry of Public Finance in Central Harmonization Unit for Public Internal Audit.
PO Programme Operator
The entity that manages one or more programs under the EEA Financial Mechanism. For the PA16/RO12 Programme, the PO is the Project Management Unit of the Ministry of Culture.
PMU Project Management
Unit
Structure of the Ministry of Culture designated as Programme Operator under the laws in force, which operates according to the Regulation on the Organization and Operation approved through the Order of the Minister of Culture no. 2559/06.11.2013.
5
Programme Partner
The Donor State Entity that provides support and cooperates with the PO in the preparation and or implementation of the PA16/RO12 Programme. For PA16/RO12, the Programme Partner is Directorate for Cultural Heritage in Norway.
PA16/ RO12
PA16/RO12 Programme
One of the programmes financed through the EEA Financial Mechanism 2009-2014, aimed the conservation and revitalisation of cultural and natural heritage.
Programme agreement
Agreement between FMC and PNC governing the implementation of the PA16/RO12 Programme, setting the terms and conditions for running the program, and the roles and responsibilities of the parties.
Programme
implementation agreement
Agreement between NFP and PO governing the implementation of the PA16/RO12 Programme, setting the terms and conditions for running the programme, and the roles and responsibilities of the parties.
Project
A set of organic structured and planned actions, conducted over a period of time, for which distinct material and human resources are assigned, and which are aimed at a specific goal / objective set forth under PA16/RO12.
Applicant
Public or private legal person, fiscally registered in Romania, that meets the eligibility requirements of the PA16/RO12 Programme and that submits an application under the PO.
PP Project promoter The applicant whose application was selected and who signed the contract for the project submitted under the PA16/RO12 Programme.
pp Project partner
Non-commercial public or private entity that meets the eligibility criteria of the PA16/RO12 Programme, with headquarters in the donor states, in the beneficiary states or in a country outside the European Economic Area which borders the beneficiary states, which is actively involved and contributes effectively to the implementation of a project.
NGO Non-Governmental
Organisation
Non-profit organization, established and/or recognized under the Government Ordinance no. 26/2000, as amended and supplemented, independent from local, regional or central government, from public entities, political parties and companies. Cults, religious associations, trade unions and political parties or other entities established and based on specific regulations other than OG. 26/2000, as amended and supplemented, are not considered NGOs for the purposes of the PA16/RO12 Programme.
Advance payment
The first instalment of the amount paid by OP to the PP; it shall not exceed 30% of the total amount of the grant, nor the amount required for the first two reporting periods.
Pre-financing
Instalment of the payment provided by the OP to the PP based on financial estimates of the eligible expenditure corresponding to the interim reporting periods.
6
Grant contract
The legal document signed between PO and PP setting out the terms and conditions of financial assistance, the rights and obligations of the parties, and the provisions for implementation, reporting, payments and irregularities.
Co-financing of the
project
The contribution consisting in eligible expenditures provided by the PP and pp with a view to implementing the projects.
Eligible expenditures
Expenditures incurred by the PP and by the pp that meet the eligibility criteria set forth by the PA16/RO12 Programme.
Excluded expenditures
Expenditures incurred by the PP and by the pp that do not meet the eligibility criteria set forth by the PA16/RO12 Programme for grants.
Monitoring
The follow-up by the PO on the implementation of the projects contracted under the PA16/RO12 Programme, in order to ensure compliance with the procedures set out, to verify the implementation status and to identify, on time, any problems or irregularities, with a view to adopting corrective measures.
Evaluation
The ex-ante systematic, objective and independent assessment of the design, implementation and/or expected results of the projects submitted under PA16/RO12 Programme with a view to determining the relevance, effectiveness, efficiency, economy, impact and sustainability of the projects submitted for selection and financing.
Initial eligibility date The signing date of the grant contract.
Project implementation
period
The period between the signing date of the grant contract and the completion date of last activity of the project.
Expenditures eligibility period
The project implementation period plus 30 days for making the payments under the project.
Digitization
Scanning / creating a digital capture, processing and transposing the results of these activities, through technical means, into digital format and organising the digitized material into databases or systems compatible with European standards.
Historical monument
Construction or group of rural or urban constructions that are coherent from a cultural, historical, architectural, urban or museum point of view and that, together adjoining land, form a topographically defined unit, which is a significant cultural and historical landmark from an architectural, archaeological, historical , artistic, ethnographic, religious, social, scientific or technical perspective and which is/are designated in group A, B or UNESCO, according to Law no. 422/2001 on the protection of historical monuments. This programme will finance only designated real estate that are registered at the time of the project, with a distinct code, into the updated List of Historical Monuments for 2010; the entire asset should be fully restored upon the completion of the project.
Museum
Non-profit public or private cultural institution, serving the society, which collects, preserves, researches,
7
restores, communicates and exhibits, for purposes of study, education and recreation, material and spiritual evidence of the existence and development of human communities and of the environment.
Intangible cultural
heritage
All practices, representations, expressions, knowledge, skills, together with the instruments, objects, artefacts and cultural spaces associated therewith, which communities, groups or, if applicable, individuals recognize as part of their cultural heritage.
Movable cultural heritage
It consists of goods of historical, archaeological, documentary, ethnographic, artistic, scientific and technical, literary, cinematic, numismatic, philatelic, heraldic, bibliographic, cartographic and epigraphic value, representing material evidence of the evolution of the natural environment and humans’ relations with it, of the human creative potential and of the contribution of Romanian and national minorities to the universal civilization, designated by order of the Minister of Culture.
Natural heritage
In the understanding of the present programme, the term of natural heritage refers to designated historical landscapes of gardens, parks, green areas, which, upon the submission of the project, are entered, with a code, into the updated List of Historical Monuments for 2010; the entire asset should be fully restored upon the completion of the project.
Heritage assets
All movable and immovable assets designated under applicable legislation in force.
The other specialized terms shall be construed in compliance with the legislation in force.
8
Call for projects
Project Management Unit – Ministry of Culture in its capacity of Programme Operator,
launches the call for large projects for the PA16/RO12 Programme
Conservation and Revitalisation of Cultural and Natural Heritage This handbook is a guide for the proper completion of a Project application for grants under the Conservation and Revitalisation of Cultural and Natural Heritage Programme.
The Conservation and Revitalisation of Cultural and Natural Heritage Programme is part of the European Economic Area (EEA) Financial Mechanism 2009-2014. Through the EEA Grants, the donor states (Norway, Iceland and Liechtenstein) provide EUR 1.79 billion funding for contributing to the reduction of economic and social disparities within the EEA and to strengthen the bilateral relations with 16 EU member states, most of which located in Central and Eastern Europe. With a view to providing non-reimbursable financial assistance through the EEA Financial Mechanism/EEA Grants, a Memorandum of Understanding signed by the Kingdom of Norway, the Republic of Iceland, the Principality of Liechtenstein and the Government of Romania on the implementation of the EEA Financial Mechanism for the period 2009-2014 entered in force as of 22 March 2012 and was amended on 18 October 2012. The rules and requirements for the implementation of the EEA Financial Mechanism 2009-2014/EEA Grants are set out in the Regulation on the Implementation of the European Economic Area Financial Mechanism 2009-2014 and its annexes. Further information can be found at www.eeagrants.org. The EEA Grants contribute to protecting and revitalizing cultural heritage and to promoting cultural diversity and intercultural dialogue, to strengthening minorities’ cultures and fostering cultural exchange by providing over 200 million euro support in 16 beneficiary countries. In Romania, a total of 20.8 million euro is provided for the cultural sector, of which EUR 16,470,588 for protecting and revitalizing cultural heritage. The total budget of the present call for projects is EUR 9,821,004. In Romania, the Programme Operator for the Conservation and Revitalisation of Cultural and Natural Heritage Programme is the Project Management Unit (PMU), within the Ministry of Culture, implementing the Programme in partnership with the Directorate for Cultural Heritage Norway, acting as donor state Programme Partner. At least 10% of the total amount for the Programme shall be allocated for projects aimed at improving the situation of the Roma population. The focus is to increase the protection and valorisation of the Roma cultural heritage with the aim towards strengthening their cultural identity and the contribution of the project’s relevance regarding cultural minorities (including Roma) will be taken into account in the evaluation criteria.
1. INTRODUCTION
9
This document is not a legal document and does not exonerate the applicant of the obligation to comply with the legislation in force at national and European level. Information and provisions of this document shall be supplemented with the EEAFM Regulations1.
2.1 Institutional framework The Ministry of European Funds acts as the National Focal Point and represents Romania in its relations with the Financial Mechanism Committee. The National Focal Point will have the overall responsibility to achieve the objectives of the EEA Financial Mechanism 2009 - 2014, and to implement it in Romania. The Certification and Payment Authority within the Ministry of Public Finance acts as Certification Authority (CA); it certifies the amounts included in the expenditure statements submitted to the Financial Mechanism Office and receives the EEA Grants amounts transferred to Romania. The Central Harmonisation Unit for Public Internal Audit (CHUPIA) of the Ministry of Public Finance acts as the Audit Authority and performs audits of the management and control systems, at Programme and individual projects level. The Project Management Unit - Ministry of Culture acts as Programme Operator and is in charge with preparing and implementing the Programme in compliance with the principles of economy, efficiency and effectiveness; it performs mainly the following activities:
ensures that the projects contribute to the overall objectives of the EEA Financial Mechanism 2009-2014 and of the Programme;
collects applications, assesses and selects the projects to be financed and signs grant contracts for each project;
monitors the progress of the projects and the quality of their implementation;
verifies the compliance of the expenditures declared by the Project Promoters, their compliance with the Regulation on the Implementation of the EEA Financial Mechanism, the Programme Agreement and with the national and EU legislation;
promotes the Programme and the EEA Financial Mechanism 2009-2014. For further details on the prerogatives of the Programme Operator, please peruse the Regulation on the implementation of the European Economic Area (EEA) Financial Mechanism 2009-2014, available here: http://eeagrants.org/Results-data/Results-overview/Documents/Legal-documents/Regulations-with-annexes/EEA-Grants-2009-2014
2.2 The legal framework of the EEA Financial Mechanism 2009-2014
The present call for projects is governed by the legislation and regulations that are 1The documents can be perused at the following address: http://eeagrants.org/Results-data/Results-
overview/Documents/Legal-documents
2. INSTITUTIONAL AND LEGAL FRAMEWORK
10
specific to the EEA Financial Mechanism 2009-2014, as follows:
a) Memorandum of Understanding of the Republic of Iceland, the Principality of Liechtenstein Kingdom of Norway and the Government of Romania on the implementation of the EEA Financial Mechanism 2009-2014, signed on 24 March 2012 and amended on 18 October 2012;
b) Protocol 38b of the European Economic Area Agreement;
c) Regulation on the implementation of the European Economic Area (EEA) Financial Mechanism 2009-2014, approved by the EEA Financial Mechanism Committee in compliance with Art 8.8 of the Protocol 38B on the EEA Financial Mechanism of 13 January 2011 and confirmed by the Permanent Committee of the EFTA States on 18 January 2011;
d) Government Emergency Ordinance nr. 88/2012 on the implementation of the institutional framework for the coordination, implementation and management of the financial assistance granted to Romania through the European Economic Area Financial Mechanism and through the Norwegian Financial Mechanism for the 2009-2014 programming period, approved by Law no. 246/2013;
e) Emergency Ordinance no. 23/2013 on the financial management of the external grants under the European Economic Area Financial Mechanism 2009-2014 and the Norwegian Financial Mechanism 2009-2014.
f) Methodological norms for implementing the Government Emergency Ordinance no. 23/2013 on the financial management of the external grants under the European Economic Area Financial Mechanism 2009-2014 and the Norwegian Financial Mechanism 2009-2014.
g) Emergency Ordinance no. 34 /2006 on awarding public procurement contracts, public works concession contracts and services concession contracts, with further amendments and completions;
h) Emergency Ordinance no. 925 of 19/07/2006 for approving the rules on implementing provisions for awarding public procurement contracts of the Government Emergency Ordinance no. 34/2006 on awarding public procurement contracts, public works concession contracts and services concession contracts, with further amendments and completions;
i) Order no. 1120/2013, issued by the Ministry of European Funds on the approval of the simplified procedure implemented by private beneficiaries of the projects funded under structural instruments, the “Convergence” objective, as well as projects funded under the EEA and Norwegian Financial Mechanisms for awarding supply, services or works contracts.
j) Emergency Ordinance no. 66/2011 of 29 June 2011 on preventing, finding and
sanctioning the irregularities found in accessing and using European funds
and/or related public national funds, with further amendments and completions.
Note The above mentioned legal framework shall be supplemented with the applicable national legislation.
11
3.1 The objectives of the EEA Financial Mechanism 2009-2014
The Conservation and Revitalisation of Cultural and Natural Heritage Programme will contribute to achieving the objectives of the EEA Financial Mechanisms as follows:
by reducing economic and social disparities within the European Economic Area due to the recognized potential of the cultural and natural heritage to act as resources for sustainable development, economic growth and social development.
strengthening the bilateral relations between the Donor States and Romania; the present call for projects encourages projects implemented in partnership with organisations in the Donor States.
3.2 The objectives of the Programme
The general objective of the Programme is to contribute to cultural and natural heritage for future generations safeguarded and conserved and made publicly available.
The Programme has the following specific objectives:
the protection of Romanian cultural heritage
the development of communities by improving their tourist and investment
attractiveness through the conservation, restoration and valorisation of cultural
heritage
the conservation and valorisation of intangible heritage with an aim towards
strengthening cultural identity of ethnical, social and cultural minorities, including
Roma population population and increasing a greater awareness about and
public access to this heritage.
strengthening of bilateral relations between Romanian cultural operators and
cultural players from the Donor States (in the field of cultural heritage).
Given the specific objectives and the outputs under the present Programme, the projects selected and financed will contribute to safeguarding and conserving the cultural and natural heritage for the future generations and will enable a wider public access to the tangible and intangible heritage assets.
3.3 Outcomes and outputs of the programme
The objectives of the Programme will be achieved through the following outcomes: Outcome 1. Cultural heritage restored, renovated and protected, with the following outputs:
buildings of cultural heritage value restored or rehabilitated;
objects of cultural heritage value restored/preserved;
3. OBJECTIVES
12
digitised archives and databases;
new museums and cultural facilities created/enhanced.
Outcome 2. Local communities further developed and economically sustainable livelihoods established through the revitalization of cultural and natural heritage, with the following outputs:
strategic and planning documents created and improved, in relation with heritage assets;
natural heritage sites protected or revitalised;
cultural intangible heritage of ethnical and cultural minorities made accessible to the public.
The projects under this call have to consider the following cross-cutting issues: good governance, sustainable development and gender equality (in compliance with Protocol 38B and Article 1.6 of the Regulations). A. Good governance Good governance has six main principles; it is participatory and inclusive, accountable, transparent, responsive, effective and efficient, and follows the rule of law. Also, concept includes zero tolerance to corruption, taking the opinions of minorities into consideration, and listening to the voice of the vulnerable segments of society in the decision making process. B. Sustainable development Sustainable development is defined as „development that meets the needs of the present without compromising the ability of future generations to meet their needs”. Thus, the term is a framework for a long-term vision and that involves all human actions, down to the local level. The principles of sustainable development, as appropriate to the project, shall be observed at project level. Sustainable development has to be considered in an integrated manner, from all three perspectives – environment, economic and social. C. Gender equality Gender equality is one of the fundamental values of society; it refers to men and women having equal rights and opportunities in all areas of society and economy, such as representation and participation, access to resources, rights, norms and values. The projects funded under this Programme shall observe the legislation in force on gender equality and equal treatment of men and women, in the field of work, equal opportunities and non-discrimination.
Note The elements of sustainable development, good governance and gender equality should be integrated into the project submitted for funding. The project can be rejected at the stage of the administrative check and eligibility for failing to include these elements. Merely assuming these principles does not suffice. In the evaluation of projects, the scoring will take into account the contribution of the project to promoting sustainable development, good governance and gender equality.
4. CROSS-CUTTING ISSUES
13
It is important that the projects address, directly or indirectly, the horizontal issues of the EEA Financial Mechanism 2009-2014, and, therefore, of the Programme: promoting tolerance, respecting minorities’ rights, including the rights of the Roma population, combating hate speech, extremism, racism, homophobia, anti-Semitism, sexual harassment, violence against women, and trafficking in human beings. The application shall detail the contribution of the project to the horizontal issues and the manner of addressing them.
5.1 Total financial allocation
The total budget of the present call for projects under the PA16/RO12 - Conservation and Revitalisation of Cultural and Natural Heritage Programme is EUR 9,821,004. This amount consists of EUR 8,347,853 (85%) provided by the EEA Financial Mechanism/EEA Grants and EUR 1,473,151 (15%) provided by the Romanian Government.
5.2 Financial allocation per Programme outcome
The above total budget of the present call will be allocated for the two outcomes of the Programme, as follows:
Outcome 1: Cultural heritage restored, renovated and protected – EUR 9,097,474.
Outcome 2: Local communities further developed and economically sustainable livelihoods established through the revitalization of cultural and natural heritage – EUR 723,530.
Note The budget estimation for the activities proposed under the projects shall comply with the limits of financial allocation for each outcome of the Programme.
5.3 Financial allocation per projects
The grant amounts per projects will be between:
a minimum amount of EUR 200,000 per project and
a maximum amount of EUR 2,000,000 per project. In order to check compliance with the minimum and maximum grant amount, the applicant will consider the InforEuro exchange rate of the month when the call for projects was launched (January 2014), namely 4.4707 lei. The grant rate for the implementation of a project is as follows:
for projects submitted by public entities, the grant will cover up to 100% of the total project eligible costs;
5. FINANCIAL ALLOCATION
14
for projects submitted by private organisations – the grant will cover up to 90% of the total project eligible costs.
5.4 Co-financing In case of private organisations, financial and in-kind contributions are accepted. In-kind contributions are possible in the form of voluntary work (in compliance with the legislation) and shall amount to maximum 50% of the co-financing for the project. The calculation basis of the unit prices for voluntary work will consider official data on the national minimum and average salary, established by the National Committee for Prognosis, in force upon the launch of the call for projects. Depending on the type of work, two different price levels will be used:
For administrative/unskilled work, the gross minimum wage per economy will be considered, plus related social contributions provided by the national legislation. According to GD. no. 23/2013 of 22 January 2013 establishing the minimum guaranteed gross salary payment, as of 1 July 2013, the minimum guaranteed gross salary payment is set at 800 lei per month for a full working schedule -168 working hours on average per month in 2013, representing 4.76 lei/hour.
For complex/qualified work, the gross average wage per economy will be considered, plus related social contributions provided by the national legislation. Under Law no. 6/2013 on the national social insurance budget for the year 2013, the average gross salary used to substantiate the national social insurance budget for 2013 is 2,223 lei per month for a full-time working schedule of 168 hours per month, representing 13.23 lei/ hour.
Any income/gains generated under the projects shall be reinvested in the project.
In order to certify their financial contribution to the project, private applicants shall specify in the Declaration of Commitment (Annex 6) the amount of co-financing (at least 10% of the eligible project value). Applicants shall specify, if applicable, the amount of non-eligible project expenditures. Also, the partnership letter of intent must specify explicitly the financial participation of the applicant and project partners. The financial contribution from the partners and the applicant is cumulative.
6.1 Eligible applicants
The applicant has to be legally established in Romania under the Romanian legislation applicable for each of the following categories of legal persons:
public institutions: public authorities, cultural institutions and state archives;
Non-governmental organisations, including branches of the legally recognized International organisations and foundations, which are active in the fields of the Programme (e.g. cultural heritage, ethnic minorities);
religious organizations legally recognized in Romania
higher education and research institutions
other non-commercial entities which are active in the fields of the Programme
6. ELIGIBILITY
15
(e.g. cultural heritage, ethnic minorities). The applicant shall have the financial resources, professional skills and qualifications required for implementing the project.
Note For projects regarding construction/facilities, applicant must prove that they are owners/ administrators or that they has the right to use it free of charge or that they hold the concession rights over the building and /or the land which is subject to the investment.
The applicants that are in any of the following situations are not eligible:
a) they have been the subject of a judgement which has the force of res judicata for fraud, corruption, involvement in a criminal organisation or any other illegal activity detrimental to the Communities’ financial interests;
b) they are bankrupt or being wound up, are having their affairs administered by the court, have entered into an arrangement with creditors, have suspended business activities, are the subject of proceedings concerning those matters or are in any analogous situation arising from a similar procedure provided for in national legislation or regulations;
c) they have failed to fulfil their obligations related to the payment of social security contributions or the payment of taxes in accordance with the legal provisions of the country in which they are established;
d) their legal representatives/management and managers have been convicted in relation to their professional conduct by a court judgement which has the force of res judicata over the past 3 years;
e) their legal representatives/management and managers have been found guilty of grave professional misconduct proven by any means that the Programme Operator can justify;
f) they have been declared in a serious breach of contractual obligations on public procurement procedures and/or contracting procedures within the European Economic Area;
g) they have attempted or will attempt to obtain confidential information or to influence the evaluators contracted by the PO during the evaluation process of applications;
h) they have supplied false information to the Programme Operator; i) they are in any situation of conflict of interest which may arise in connection with
the present call (a conflict of interest could arise in particular as a result of economic interests, political or national affinities, family or emotional ties or any other relevant connection or shared interest);
j) they have delays in informing the Programme Operator of any situation which may be considered a conflict of interest or which could give rise to a conflict of interest;
k) they have made any offer of any type whatsoever from which an advantage can be derived under the agreement;
l) they are currently subject to an administrative penalty for misrepresentation in supplying information required by the Programme Operator.
The applicant will not receive grant funding if the information in the application dossier does not correspond with the supporting documents submitted in the contracting stage (the justifications such as „errors in filling out the data” shall not be admitted) The applicant will complete, sign and stamp the Statement of Eligibility (Annex 3) and
16
will submit it along with the application.
6.2 Eligible project partners
With a view to strengthening cooperation, the partnerships between Romanian organisations and, respectively, donor states organisations are encouraged.
A Romanian project Promoter may enter partnerships with one or more legal entities in the donor states: Norway, Iceland and /or Liechtenstein.
Note The evaluation will only score projects entered into with public or private entities in the Donor States (Norway, Iceland, and Liechtenstein).
The project partner has to be an organisation registered as legal entity in its country of residence, in compliance with the applicable legislation for each of the following categories of legal persons:
public entities active in the fields of the Programme (e.g. cultural heritage, ethnic minorities), organized and managed in compliance with the legislation in force;
non-governmental organisations and other non-commercial entities active in the fields of the Programme (e.g. cultural heritage, ethnic minorities), organized and managed in compliance with the legislation in force;
The project partner shall meet the following criteria:
its participation in the project is justified ;
it does not draw profits from the participation in the project;
it has the financial resources, professional skills and necessary qualifications for fulfilling its responsibilities within the project.
Project partners shall not be in the exclusion situations listed in the section on the eligibility of applicants (Article 6.1 of this guide). The application dossier will include the statement of eligibility for each partner (Annex 4). The partners may participate in co-financing the project and may be involved in the design and implementation of the activities. Expenditures incurred by the Project Partners will be reimbursed by the Applicant in compliance with the provisions of the Partnership Agreement. The value of the grant provided to the applicant have to be minimum 60% of the total amount of the grant provided. The role and responsibilities of the Applicant and of each partner must be very clearly detailed in the application and the letter of intent on the partnership (Annex 5); further on, prior to the signing of the contract, they are to be transposed into a Partnership Agreement. The applicant has the ultimate responsibility for the management and implementation of the project according to the contract.
17
Applicants may implement the project in partnership subject to the provisions of national legislation, including that relating to transparent and non-discriminatory procedures in selecting private partners, according to GEO 23/2013 on the financial management of external grants under the European Economic Area Financial Mechanism 2009-2014 and the Norwegian Financial Mechanism 2009-2014. Partners and partnership relationship shall not breach the provisions of GEO no. 34/2006 i.e. must not restrict competition on the goods or services market by a partnership developed with a potential service provider and shall not affect the efficient use of public funds, taking into account the quality cost assessment. If the evaluation process finds that a partnership has been concluded in order to "circumvent" the procurement procedures, it will not be scored for selection for the awarding of grants. In case of partnerships with foreign entities, the statements and supporting documents of the partner(s) shall be written in or translated into English. The Partnership Letter of Intent (Annex 5) and the Statement of Eligibility of the Partner (Annex 4) shall be completed in English, using the templates provided by the Programme Operator.
6.3 Eligible activities Under the present call for projects, all activities should be aimed at achieving the objectives, outcomes and outputs outlined of the Programme. The following categories of activities are considered eligible under this call for projects:
Protecting, restoring, conserving and showcasing historical monuments2;
Landscaping for showcasing cultural monuments;
Modernisation of utilities related to historical monuments (electricity, water, sewage);
Indoor utilities (installations, equipment and facilities for ensuring air conditioning, fire safety, anti-burglar systems etc.) for historical monuments/museums;
Facilities for exhibiting and protecting movable and immovable cultural heritage;
Landscaping the area of protection by delimiting and fencing historical monuments;
Building related facilities (signalling, restrooms, information points, advertising and indicators) for historical monuments/museums;
Building/rehabilitating/landscaping the pathway to historical monuments/museums;
Protecting, restoring, conserving and showcasing movable heritage;
Setting up the infrastructure for digitising heritage goods, actions of digitisation of heritage goods, creating databases, as well as facilitating public access to them;
Setting up platforms and technological solutions, including digitisation, for showcasing immovable and movable heritage;
Conserving, landscaping and showcasing natural heritage, providing access and integrating it into the public circuit;
Conducting studies, analyses, reports on tangible and intangible cultural assets, including, technical projects, impact assessment, inventories, etc.;
Drafting strategic and planning documents, and integrated management documents related to heritage assets;
Conducting activities of conservation and promotion of intangible heritage of
2 Subject to Law no. 422 of 18 July 2001 on the protection of historical monuments, with further
amendments and completions
18
ethnic and cultural communities, including the Roma population;
Producing catalogues and inventories of cultural heritage collections related to the cultural heritage of ethnic minorities and promoting them;
Organizing exhibitions and events promoting the heritage of ethnical and cultural minorities
The activities list above only serves as an example, and is not limitative. Activities other than the ones listed above may be considered eligible if the applicant justifies that it is necessary to conduct them as part of the implementation of the project in the best conditions, in compliance with the objectives of the Programme.
Note In order to be eligible for intervention works done through the project, the real estate assets have to be registered, upon the submission of the project, with a distinct code into the updated List of Historical Monuments for 2010; the entire asset should be fully restored upon the completion of the project.
Note The real estate and/or the land, if applicable, that the investment is made upon should meet the following cumulative requirements upon the submission of the application:
It is free of any charges
It is not the subject of any ongoing litigation concerning its legal situation.
It is not subject of claims under applicable special laws and under common law.
Note The movable and immovable heritage goods that are conserved/restored/landscaped through a project funded through the EEA Financial Mechanism have to be included in the public circuit.
6.4 Target groups The target groups are the entities/groups targeted directly or indirectly by the implementation and results of the project. The target groups for this call for projects include:
Cultural institutions;
Public - central and local - administration authorities;
NGOS that are active in the field of culture or ethnic minorities;
religious institutions;
research and higher education institutions;
other types of non-commercial entities;
owners (not-for-profit legal persons) of historical monuments and collections;
economic and social stakeholders of Romanian communities;
communities as a whole, in particular local, ethnic and cultural communities, including Roma population;
Romanian and foreign tourists;
Specialists in the field of tangible and intangible heritage.
19
6.5. Eligible expenditures
6.5.1 List of eligible expenditures
Under this call for projects, the following categories of expenditures will be considered eligible:
a) Management* expenditures, including, without being limited to: - the cost of staff assigned to the project, including salaries and social security
charges and other statutory expenditures included in the remuneration, provided that this corresponds to the Project Promoter's and project partner's usual policy on remuneration. The corresponding salary expenditures of national administration staff are eligible, provided that they relate to the costs of activities which the relevant public authority would not carry out if the project concerned were not implemented;
- travel expenditures (transport, accommodation and per diem for staff taking part in the project, provided that they are in line with the Project Promoter's and project partner's usual practices on travel expenditures and do not exceed the relevant national scales);
- other expenditures (the costs of consumables and supplies may be included here, provided that they are identifiable and assigned to the project, travel insurance policies etc.).
b) Consulting and expertise expenditures, including, without being limited to: - expenditures for technical, administrative, financial, accounting, tax, legal,
management and consulting advice on project activities; - expert fees for reports, strategies, guidelines, methodologies, inventories, studies,
analyses etc.; - expenditures for services of translation and interpretation; - expenditures for evaluation and audit.
c) Specific costs, including, but not limited to: - expenditures for design, engineering, technical assistance, site supervision, other
types of work monitoring; - expenditures for obtaining permits, approvals and endorsement; - expenditures for landscaping works; - expenditures for utilities; - expenditures for construction and installation works; - expenditures for assembling and technological and functional equipment and
machines; - expenditures for the full cost of technological and functional equipment and
machines; - expenditures for the depreciation of technological and functional equipment and
machines; - expenditures for the full cost of new or second hand utilities and fittings; - expenditures for the depreciation of new or second hand utilities and fittings; - expenditures for the full cost of intangible assets; - expenditures for the depreciation of intangible assets; - expenditures for site management; - commissions, fees, quota;
20
- expenditures for works od restoration and valorisation of heritage assets; - expenditures for digitization of heritage assets and/or archives, catalogues,
inventories and for creating databases; - expenditures for facilitating public access to the tangible and intangible heritage; - expenditures for insurance; - other expenditures specific to the project, including for developing bilateral
relations. d) Expenditures for publicity and information, including, without being limited to:
- expenditures for designing and printing promotional materials; - expenditures for website creation and maintenance; - expenditures for organizing promotional events; - expenditures for promotional billboards / plaques, etc.; - other expenditures for publicity and information.
e) Indirect expenditures* Indirect expenditures are the eligible expenditures which cannot be identified by the Project Promoter and/or project partner as assigned directly to the project, but can be identified and justified in their accounting system as being directly related to the eligible expenditures assigned to the project. The Project promoter and/or project partners shall apply the following methodology for the calculation of indirect expenditures:
Indirect expenditures = X% * (total direct eligible expenditures)
X% is calculated by using ONE of the following two formulas:
a) x% = number of staff assigned to the project / total number of staff employed by the project promoter or project partner x 100 (but not more than 20%)
or
b) x% = area of offices assigned to the project / total space of project building x 100. (but not more than 20%)
Under the project, the value added tax may be eligible only if the Project Promoter can not recover VAT, as follows:
If the applicant/partner does not recover VAT, the expense incurred with the unrecoverable VAT is eligibile within the project. In this case, the project budget will include the costs per unit and total costs VAT included.
If the applicant/partner is able to recover the VAT, this shal be considered as an excluded expenditure within the project and the project budget shall include the costs per unit without VAT, the corresponding VAT and the total costs VAT included.
If the VAT is partially recoverable, only the unrecoverable part is eligible. In such a situation, the applicant shall include the VAT in the project budget only for those categories of expenditures which include the eligible part of the VAT. For the part of excluded VAT, the applicant/partner shall enter the costs without VAT and shall enter a distinct column for VAT.
21
In case of changes in the VAT calculation method, during the project implementation, the applicant shall enclose the Statement of eligibility for VAT to the financial reports and to observe the new calculation method.
Note * Management costs, along with indirect expenditures, should not exceed 20% of the total direct eligible costs.
Note The full cost of new or second hand equipment is eligible provided that the equipment is functional upon the completion of the project and in those cases where the use of the equipment following the completion of the project serves only the project objectives. If the above situation does not apply, the cost of equipment will be depreciated according to accepted accounting principles applicable to the project promoters and generally accepted for items of this type. Only the portion of depreciation corresponding to the duration of the project and the rate of actual use for the project can be taken into consideration.
6.5.2 General conditions
The eligible expenditures shall be directly related to the implementation of the proposed activities. The expenditures incurred during the project shall be proportional, justified, and necessary for the implementation of the project and effectively incurred by the Project Promoter or by their partners. In order to be considered eligible, expenditures shall comply with the following cumulative requirements:
a) are effectively incurred by the project/promoter and or project partners; b) are incurred during the expenditures eligibility period; c) are in line with the object of the grant contract and are mentioned in the detailed
budget of the project; d) are justified, proportional and necessary for the implementation of the project; e) are used exclusively for the purpose of achieving the project objective(s) and
expected results, in line with the principles of economy, efficiency and efficacy; f) are identifiable and verifiable, in particular based on the project promoter's
accounting registrations/records and are established in line with the applicable accounting rules and with the generally accepted accounting principles;
g) comply with the principles of the applicable tax and national legislation.
The Project Promoter shall keep a separate financial-accounting record of revenues and expenditures arising from the project. The accounting records and audit procedures have to be able to provide the accurate direct harmonization/direct correspondence of revenues and expenditures corresponding to the project with the accounting statements and the supporting documents. The direct eligible expenditures need to be supported/justified by original supporting documents (invoices accompanied by payment documents or other accounting documents equally able to justify the expenditures). No supporting documents are required for the indirect eligible expenditures. The project promoter and project partners will state in the application the level of indirect eligible
22
expenditures as well as the methodology for the calculation of indirect expenditures selected among the previously presented options. The eligible expenditures are considered to be incurred when they were invoiced, paid and their object was delivered (in case of goods) or performed (in case of services and works). The indirect expenditures and the expenses incurred for the depreciation of equipment are considered incurred when they are entered in the accounting records of the Project Promoter /Project Partner. 6.5.3 Excluded expenditures
The following categories of expenditures are not eligible:
any expenditures incurred prior to the entry into force of the grant contract;
interest on debt, debt service charges and delayed payment charges;
charges for financial transactions and other purely financial services, except for the costs of financial services provided by the grant contract;
provisions for losses or potential future liabilities;
exchange rate losses;
recoverable VAT;
expenditures that are covered from other sources;
fines, penalties and court expenses;
excessive or reckless expenditures. 6.5.4 The budget of the project
The project budget is fixed in RON (Romanian Lei), pursuant to the template enclosed herein (Annex 2). In order to comply with the amount of the grant allocated to the project, the applicant will consider the InforEuro exchange rate from the month when the call for projects was launched (InforEuro rate in January 2014), i.e. 4.4707 RON/Euro.
6.6 Duration of the project The duration of the project represents the period for the implementation of the project activities, i.e. the period between the date of signing the grant contract – more precisely the date when the contract was signed by the last contracting party – and the date when the last activity in the project was completed.
The period of implementation of activities cannot exceed the date of April 30, 2016.
The expenditures eligibility period covers the entire period of project implementation plus 30 days necessary for the completion of payments within the project.
The Project Promoters and their partners that access funds under the EEA Grants shall fully comply with all applicable regulations on public procurement. The public procurement procedures shall fully comply with following principles: non-discrimination, equal treatment of contractors and transparency of the procedure, appropriate deadlines, mutual recognition of diplomas, certificates and other documents related to professional qualifications, in compliance with the Romanian law, transparency and proper publicity of the procurement procedure, proportionality and efficient use of funds.
7. PUBLIC PROCUREMENTS
23
In this call for projects, the project promoters and/or project partners will apply the following public procurement procedures:
I. Procurements carried out by Project Promoters or Partners which are
public institutions/contracting authorities
1. The project promoters and project partners, as contracting authorities as per art. 8 of GEO 34/2006 as well as the legal entities that meet the requirements of the art 9 let. c and c1, shall carry out the procurement procedures within the projects implemented under and in compliance with the provisions of the GEO 34/2006 on awarding public procurement contracts, contracts of concession for public works and contracts of concession for services, with further amendments and completions.
II. Procurements carried out by private Project Promoters and/or Partners
1. If the estimated value of the procurement without VAT does not exceed the value thresholds stated under art. 19 of the GEO 34/2006, including the subsequent amendments and completions (EUR 30,000 for every procurement of goods or services, EUR 10,000 for every procurement of works, respectively), the project promoters and/or partners that are private entities registered in Romania shall carry out the respective procurement in line with and based on the provisions of the Chapter II – Direct Procurement from the „Simplified Procedure” approved by Order of the Minister for European Funds no. 1120/2013. 2. For goods supply contracts the VAT excluded amount of which exceeds the threshold stated under art. 19 of the GEO 34/2006, i.e. exceeds the value of EUR 30,000, the project promoters and/or project partners that are private entities registered in Romania shall carry out the respective procurement in line with and based on the provisions of the Chapter VII - ,,Simplified procedure” of the Order of the Minister for European Funds no. 1120/2013; there is no upper limit starting from which there is an obligation to apply the provisions of the GEO 34/2006. 3. a) – For contracts for services with an estimated VAT excluded amount ranging between the EUR 30,000 threshold, stated under art. 19 of the GEO 34/2006 and the EUR 200,000 threshold, stated under art. 9, let. c1 of the GEO 34/2006, the Project Promoters and /or project partners that are private entities registered in Romania shall carry out the respective procurement under and in compliance with the provisions of the Chapter VII - ,,Simplified procedure” of the Order of the Minister for European Funds no. 1120/2013.
b) For contracts for services with an estimated VAT excluded amount above the EUR 200,000 threshold, stated under art. 9, let. c1 of the GEO 34/2006, the Project Promoters and/or their partners that are private entities registered in Romania shall carry out the respective procurement under and in compliance with the provisions of the GEO34/2006.
4. – a) For contracts of works with an estimated VAT excluded amount ranging between the EUR 100,000 threshold, stated under art. 19 of the GEO 34/2006 and the EUR 5,000,000 threshold, stated under art. 9, let. c of the GEO 34/2006, the Project
24
Promoters and /or project partners that are private entities registered in Romania shall carry out the respective procurement under and in compliance with the provisions of the Chapter VII - ,,Simplified procedure” of the Order of the Minister for European Funds no. 1120/2013.
b) For contracts of works with an estimated VAT excluded amount above the EUR 5,000 000 threshold, stated under art. 9, let. c of the GEO 34/2006, the Project Promoters and /or project partners that are private entities registered in Romania shall carry out the respective procurement under and in compliance with the provisions of the GEO 34/2006.
5. The overview of the procurement system applicable to the project promoters and/or their partners who are private entities:
Type of contract Estimated value, without VAT
(EUR)
Applicable rule and procedure
Supply of goods and services
< 30,000
Chapter II - ,,Direct procurement” of the „Simplified procedure” approved by Order of the MFE 1120/2013.
Works < 100,000 Chapter II - ,,Direct procurement” of the „Simplified procedure” approved by Order of the MFE 1120/2013.
Supply of goods >30,000 – no maximum threshold for the application of the GEO 34/2006
Chapter VII - ,,Simplified procedure” approved by Order of the MFE 1120/2013
Services 30,000 – 200,000 Chapter VII - ,,Simplified procedure” approved by Order of the MFE 1120/2013
Works 100,000 – 5,000,000 Chapter VII - ,,Simplified procedure” approved by Order of the MFE 1120/2013
Services > 200,000 GEO 34/2006
Works >5,000,000 GEO 34/2006
The procurement procedures and the execution of contracts shall comply with the highest standards of ethics. At project level, the entity in charge with procurement is the Project Promoter (entity registered in Romania). The public procurement procedure may be carried out either by the project promoter or by their partners, taking into consideration the end beneficiary of the goods, services, works, etc. resulting from the contract.
25
In compliance the principle of undertaking responsibility provided in article 2, paragraph 2, g) of the GEO 34/2006, the project promoter is the only one responsible for selecting the type of public procurement procedure, including the direct procurement.
Note! It is forbidden to divide a contract into contracts of lower value, with the same object, in order to comply with the thresholds set by the GEO 34/2006 including the subsequent amendments and completions.
The procurements made by a foreign partner shall be carried out in line with the legislation in force on public procurement in the partner country(ies) and with the principles set under art. 7.16 of the Regulation regarding the EAA Financial Mechanism, only if the public procurement activities are carried out in the partner’s country. The project promoter shall comply with the following obligations during the procedures of public procurement stipulated in the project:
a) for the procurement of goods/services/works mentioned in the project budget, the project promoter shall apply and observe the rules set under the Programme, the national and European Legislation and the provisions herein.
b) to implement the public procurement procedures and carry out the contracts, to make the payments for the goods/services/works purchased, within the deadlines mentioned in the project activities schedule (included in the procurement plan).
c) the awarding of procurement contracts necessary for the implementation of the project shall observe the principle of the most advantageous tender, the free movement of goods, the freedom to settle/of location, the freedom to provide services as well as the principles arising therefrom, such as equal treatment, non-discrimination, mutual recognition, proportionality and transparency;
d) to draft a procurement plan for the entire duration of the project, including a list of annual procurement (for every year of project implementation) and o report periodically on the progress of procurement;
e) to prepare the procurement dossiers and keep them as long as the procurement contract produces legal effects, but no less than 5 years from the approval of the project’s final report;
f) when the percentage of the public procurement activities for the purpose of project implementation exceeds 20% of the total eligible costs of the project, the project team shall include an expert specialised in the development of such procedures.
The total value of the contracts concluded by the Programme Operators (PO) and the project promoters (PP), which make the object of the grant, is expressed both in RON and EURO, calculated based on the InforEuro exchange rate valid as of the date of the contract signing, according to the Art. 3 of the Methodological Norms of July 24, 2013 implementing the Government Emergency Ordinance no. 23/2013 on the financial management of the external grants under the European Economic Area Financial Mechanism 2009-2014 and the Norwegian Financial Mechanism 2009-2014. In case of projects implemented in partnership and where the project partner is an entity legally registered in one of the donor states or in the beneficiary states of the 2009-2014
8. USE OF THE EURO CURRENCY
26
EEA Financial Mechanism, the payments to them shall be made in EUR by the project promoter at the InforEuro exchange rate of the month when the expenditures are recorded in the accounting records, as stated in the Partnership Agreement, concluded prior to the signing of the grant contract.
According to the provisions of the GEO no.117/2006 on the National Procedures regarding the State Aid, these rules apply to economic undertakings with a lucrative purpose. Considering the specific activities to be financed within the Programme, activities for which the applicants do not act as economic operators, and for which there are no premises to assess a potential distortion of the competition in the European Union’s market as well as the maximum limits of the grant for every project, this Programme does not fall under the scope of the provisions regarding the state aid. The eligible project promoters and project partners in the Programme are public or private organisations which are not aimed at gaining profit.
10.1 The content of the application dossier The application dossier includes all the forms, annexes and documents submitted by an applicant in order to obtain a grant.
Note! An organization may submit as applicant maximum three distinct applications within this call for projects. As regards the status of project partner, there is no limit to the number of partnerships an organisation may enter into in order to obtain the grant.
All the pages of the application dossier must be numbered, indicating the total number of pages (application form, all the annexes and enclosed documents) on the first page of the cover letter. The application dossier must include the following general documents:
Cover letter and list of documents in the dossier (original document);
Application form, as per the template presented in the Annex 1 (original document);
Project budget, as per the template presented in the Annex 2 (original document);
The applicant's statement of eligibility as per the template presented in the Annex 3 (original document);
Statement of eligibility of each partner (if any) as per the template presented in the Annex 4 (original document);
Cover letter regarding the partnership3 (if any) as per the template presented in the Annex 5, drafted in Romanian and in English, if applicable (original
3 One document signed by all partners.
9. STATE AID
10. SUBMISSION OF APPLICATIONS
27
document);
Applicant's statement of commitment, as per the template presented in the Annex 6 (original document);
Applicant's statement of conformity, as per the template presented in the Annex 7 (original document);
Statutory documents of the applicant and of the partners (in case of foreign partners, the translation of that part of the statute or of the equivalent document that certifies the activity of the organization in the cultural sector must be enclosed) (copy of the original document4);
Certificates issued by the General Directorate for Public Finance and by the town halls where the organizations have their headquarters and subsidiaries to certify that they have no fiscal and social debts and, if any, the schedule of payment of debts to the consolidated budget (original document);
The applicant's financial statements - the statement of account approved for the year 2012 and the last balance sheet (copy of the original document);
The report of activity for the applicant and the partner (if any) for the last 2 years5 (copy of the original document);
The decision of approval of the project and project related expenditures issued by the competent body depending on the legal status of the applicant (original document);
The job descriptions for the positions included in the project team6, approved by the applicant's legal representative (original document);
Other documents that the applicant may consider relevant (e.g. studies, research, photographs, etc.).
Additionally, depending on the type of project, it is mandatory to include the following Specific documents for each type of project: a) for projects aimed at restoring, conserving and showcasing historical
monuments or aimed at protecting and revitalising natural heritage of historical and cultural value:
Document proving the right of ownership/management/concession over the monument for public authority applicants 7 and, respectively, the right of ownership/concession for private entity applicants, or the right to use free of charge of the public utility organisations8, valid from the date of the submission of the project and for at least of 5 years following the approval of the final project report (copy of the original document);
Agreement on the owner on the implementation of the project, in all cases where the applicant is not the owner of the property (original document);
Decision on the registration into the Land Registry (copy of the original document), and Land Registry excerpt (original document).;
4 All copies of the original document shall bear the mention “true copy”, the signature and the stamp of
the Applicant 5 For organisations established in 2013, a report on the current activity and the budget of the organisation
6 If the applicant deems it necessary, the CVs of the persons that will work within the project can be
included in the application dossier. The CVs of the project team members have to be submitted upon contracting 7 If the monument is owned/managed by more than one entity, they can submit the project in partnership,
with the purpose of conducting works over the entire building 8 The real estate acquired under Law no. 165/2013 on the measure for finalising the restitution process,
in-kind or by equivalence, of the properties abusively taken over by the state during the communist regime in Romania are eligible only if the court is final and irrevocable.
28
The code assigned to the monument in the updated List of Historical Monuments of Romania for 2010;
The obligation on the use of the historical monument 9 (copy of the original document);
Town planning certificate (copy of the original document);
Supporting (economic and technical) documents for repair and maintenance works10, including a technical expert report drafted in the past 2 years; (copy of the original document) and a summary in English;
The endorsement of the Ministry of Culture for the Supporting (economic and technical) documents for repair and maintenance works11 (copy of the original document);
Building permit, if issued, (copy of the original document); b) for projects aimed at restoring/conserving movable cultural heritage:
Documents proving the applicant’s right of ownership/management/use, valid from the date of the submission of the project and for at least 5 years following the approval of the final report of the project (copy of the original document);
Order of the Minister of Culture on the designation of cultural assets targeted by the project 12 (copy of the original document);
Restoration methodology, accompanied by the initial estimate and the schedule of the restoration, approved by a specialist/expert who is certified by the Ministry of Culture, for each asset (original document).
c) for projects related to digitisation of heritage assets and/or archives,
catalogues, inventories and creation of databases:
The owner’s consent on the digitisation of the materials included in the project, if the cultural assets are not part of the public domain and the owner’s consent on the digitisation and public communication (original document);
The applicant’s commitment to use the europeana.eu database standard and to input the digitised materials in this database (original document);
Document proving the transfer of copy rights to the applicant for the databases and software’s that are to be created and/or used as part of the project (original document);
Document proving the existence of the adequate space, assigned for the purpose of the project, valid from the date of the submission of the project and for at least 5 years after the completion of the project, if applicable (copy of the original document);
d) for projects aimed at creating and developing museums and cultural venues: - new buildings
9 No provisional obligations are accepted
10 Subject to GD no. 28/09.01.2008 on the approval of the framework content of the technical and
economic documentation for public investments and to the structure and methodology for drafting the general estimate for repair and maintenance works, published in the Official Journal no 48/22.01.2008 11
The document for approving the supporting (technical and economic) documents for repair and maintenance works can be submitted subsequently to the application dossier, up to the last day of the call for projects 12
The order on the designation of cultural heritage assets can be submitted subsequently to the
application dossier, up to the last day of the call for projects
29
Documents proving the applicant's right of ownership/public management over
the land where the investment is to be made, valid from the date of the
submission of the project and for at least 5 years following the approval of the
final report of the project (copy of the original document);
Town planning certificate (copy of the original document);
Feasibility study13, conducted over the past 2 years, including a summary in English, accompanied by all the legal permits and endorsements14 requested in the Town Planning Certificate (copy of the original document);
Building permit, if issued (copy of the original document);
The list of cultural heritage assets that will be included in the initial heritage of the museum or of the public collection, including the name of the asset, the name of the author and the source of the asset15 (original document);
The owner’s consent on exhibiting the cultural heritage assets in the museum from the date of the submission of the project and at least 5 years after the completion of the project (original document);
The project and theme of the exhibition, reflecting the quality and the innovative approach of the initiative (original document);
The strategic development project for 5 years following the commissioning (original document).
- Landscaping and fitout works
Document proving the right of ownership/management/concession over the
venue for public authority applicants and, respectively, the right of
ownership/concession for private entity applicants, or the right to use free of
charge of the public utility organisations , valid from the date of the submission of
the project for at least 5 years following the completion of the project (copy of the
original document);
The owner’s consent on the implementation of the project, in all cases where the applicant is not the owner (original document);
Decision on the registration into the Land Registry (copy of the original document), and Land Registry excerpt (original document);
The list of cultural heritage assets that will be included in the initial heritage of the
museum or of the public collection including the name of the asset, the name of
the author and the source of the asset 16 (original document);
The owner's consent on exhibiting the cultural heritage assets in the museum
from the date of the submission of the project and at least 5 years after the
completion of the project (original document);
The project and the theme of the exhibition, reflecting the quality and the
innovative approach of the initiative (original document);
13
Subject to GD no. 28/09.01.2008 on the approval of the framework content of the technical and
economic documentation for public investments and to the structure and methodology for drafting the general estimate for repair and maintenance works, published in the Official Journal no 48/22.01.2008 14
The approvals and the agreements in principle can be submitted subsequently to the application dossier, up to the last day of the call for projects 15
If the Applicant deems it necessary, a collection evaluation report, drafted by an expert certified by the Ministry of Culture, can be included in the project dossier 16
If the Applicant deems it necessary, a collection evaluation report, drafted by an expert certified by the Ministry of Culture, can be included in the project
30
The strategic development project for 5 years following the commissioning
(original document).
e) for projects aimed at creating/showcasing the cultural or historic inventories
and collections of minorities:
The owner's consent on the digitisation of the materials included in the project, if
the cultural assets are not part of the public domain and the owner's consent on
digitisation and public communication, subject to provisions on the protection of
personal data (original document);
The applicant's commitment to use the standard of interoperability with the
databases created by the Ministry of Culture (ex DocPat), of the europeana.eu
database standard and to input the digitised materials in this database (original
document);
Document proving the transfer of copy rights to the applicant for the databases
and software that are to be created and/or used as part of the project (original
document);
Document proving the existence of the adequate space, assigned for the
purpose of the project, valid from the date of the submission of the project and
for at least 5 years after the completion of the project, if applicable (copy of the
original document).
f) for projects aimed at organising exhibitions and events related to the cultural
and ethnic heritage of minorities:
The owner's consent on exhibiting the cultural heritage assets included in the
project (original document);
The project and the theme of the exhibition, reflecting the quality and the innovative approach of the initiative (original document);
The online visibility project for 5 years following the completion of the project (original document).
If documents in languages other than Romanian or English are submitted, they have to be accompanied by a translation in Romanian and/or English. Throughout the evaluation of the projects, the Programme Operator reserves the right to ask for clarifications and additional documents, depending on the type of each project.
Note! Changing the standard formats of the documents requested by Programme Operator (replacing, removing, renumbering of sections, use of another grant application form etc.) may lead to the rejection of the application in the stage of administrative verification.
The applicant shall keep a complete copy of the application dossier, identical to the one submitted to the Programme Operator. The Application is a document used for applying for grants, with a view to implementing the project. The Application and the Annexes contain the detailed presentation of the
31
project and arguments for its necessity and highlights the benefits of its implementation. The Application Form is attached to this guide (Annex 1) and is also available on the Internet at www.fonduri-patrimoniu.ro. Candidates shall complete all fields in the application form in Romanian (with a summary in English) and shall submit all annexes of the application. It is recommended to use the Arial font, size 12.
Note! For projects implemented in partnership with foreign entities, the application has to be completed both in Romanian and English.
Applications completed by hand will not be accepted. The application form should be filled in as clearly as possible and with sufficient details on how the project objectives will be achieved, the advantages arising from its implementation and relevance of the project for the objectives of the Programme. It is recommended that the design of projects observes the PCM (project cycle management) principles, methods and tools; also, there should be a correlation of objectives, results and activities. Additionally, PO recommends developing a detailed list of objectively verifiable indicators and a realistic estimate of the costs and financial developments throughout the implementation of the project.
10.2 Submission of the application dossier
The application dossier in two printed copies (one original and one true copy) containing all the documents referred to in section 10.1, together with their electronic version (CD / DVD / USB stick - containing the Application and the Annexes in specific format - Word, PDF, Excel, etc., and all attached documents scanned) will be submitted in a sealed envelope by registered mail, by courier or submitted personally, Monday through Thursday between 9.00 and 17.00 and on Friday between 9.00 and 12.00 at:
Project Management Unit – Ministry of Culture Unirii Bld. no. 22, 5th floor, Room 503, 3rd district, Bucharest, postal code 030833
The sealed envelope must bear the mention:
EEA Grants: PA 16/RO12 Programme Call for Large Projects Project Title: Project <title> Applicant: < full name and address> Address < address>
Applications submitted by fax or e-mail will not be accepted.
The deadline for submission of project applications is April 7, 2014 (17.00 hrs.). For applications submitted by mail or courier the date of the post stamp or the date of the delivery to the courier or post shall be considered as submission date.
32
For dossiers sent by post, it is recommended to send the dossier with acknowledgement of receipt and to keep the receipt issued by the post.
All application dossiers received will be recorded and assigned a unique registration number to be further used in relation to the submitted dossier. Applications received after the deadline shall be automatically excluded, without being opened.
Note! In order to ensure the equal treatment of all applicants and to avoid discrimination of potential grant beneficiaries, the applicants shall not contact the Programme Operator after the deadline for submission of projects, except for cases when they are requested by the Programme Operator to provide clarifications.
The project evaluation and selection process will include 3 stages: 1. Verification of administrative conformity and eligibility of the application 2. Technical and financial evaluation of the project (selection of projects) 3. Selection of projects by the Selection Commission.
11.1 Verification of administrative compliance and eligibility
All the dossiers submitted within the deadline set herein enter the stage of verification of administrative conformity and eligibility. The Programme Operator checks the compliance with all the requirements and conditions stated herein, based on the following checklist for administrative compliance and eligibility:
I. ADMINISTRATIVE CONFORMITY YES NO
DOSSIER AND APPLICATION
The application dossier was submitted in a package bearing the requested details, before the deadline for submission
The application dossier contains the cover letter and the list of documents in the dossier
The application dossier was submitted in 2 copies: 1 original + 1 true copy + one electronic copy ( CD/DVD/USB stick)
The application dossier is numbered, signed and stamped as required in the Applicant’s Guide
All the columns of the application form are filled in with the requested data and information and observe the template enclosed to the Applicant’s Guide, are signed and stamped
ANNEXES AND GENERAL DOCUMENTS
The project budget is filled in as per the template presented in Annex 2, is signed and stamped (original document)
The letter of Letter of partnership intent (if applicable), filled in as per the template presented in Annex 3, drafted in Romanian and, if applicable, in English, is signed and stamped (original document)
11. EVALUATION AND SELECTION
33
Applicant’s statement of eligibility, filled in as per the template presented in Annex 4, is signed and stamped (original document)
Statement of eligibility for each partner (if applicable), filled in as per the template presented in Annex 5, is signed and stamped (original document)
Applicant’s statement of commitment as per the template presented in Annex 6, is signed and stamped (original document)
Applicant’s statement of conformity as per the template presented in Annex 7, is signed and stamped (original document)
Statutory documents of the applicant and partners (in case of foreign partners, the translation of that part of the articles of incorporation or of the equivalent document certifying to the activity of the organization in the cultural sector is enclosed) are included (copy of the original documents)
Certificates issued by the General Directorate for Public Finance and by the town halls where the organizations have their headquarters and subsidiaries to certify that they have no fiscal and social debts in the month prior to the submission of the application and, if any, the schedule of payment of debts to the consolidated budget for the applicant and for each partner, are included and meet the requirements (original document);
The Applicant’s financial statements – statement of account approved for 2012 and the last balance sheet are included and prove a positive result of operations (including 0) (copy of the original document)
Report of activity for the last 2 years for the applicant and for each partner are included (copy of the original document)
Decision of approval of the project and of the project related expenditures issued by the competent authority, depending on the applicant’s legal status is included, signed and stamped as required (original document)
Job descriptions for the positions included in the project team, approved by the applicant’s legal representative are included and meet the requirements (copy of the original document)
Other documents that the applicant may deem relevant (e.g. studies, research, photographs, etc.) are included
SPECIFIC DOCUMENTS (to be checked depending on the type of project specified by the applicant in the application)
- for projects aimed at restoring, conserving and showcasing historical monuments or aimed at protecting and revitalising natural heritage of historical and cultural value:
Document proving the right of ownership/management/concession over the monument for public authority applicants and, respectively, the right of
34
ownership/concession for private entity applicants, or the right to use free of charge of the public utility organisations , valid from the date of the submission of the project for a minimum of 5 years following the approval of the final project report (copy of the original document)
The owner’s consent on the implementation of the project, in all cases where the applicant is not the owner of the property (original document)
Decision on the registration into the Land Registry (copy of the original document), and Land Registry excerpt (original document) are included and meet all the requirements;
The monument has a code assigned in the updated List of Historical Monuments of Romania for 2010 upon the submission of the project
The obligation on the use of the historical monument is included and meets all the requirements (copy of the original document);
The town planning certificate is included and meets all the requirements (copy of the original document);
Supporting (economic and technical) documents for repair and maintenance works, including a technical expert report drafted in the past 2 years, and a summary in English, are included and meet all the requirements (copy of the original document);
The endorsement of the Ministry of Culture for the Supporting (economic and technical) documents for repair and maintenance works is included and meets all the requirements (copy of the original document);
Building permit, if issued (copy of the original document)
- for projects aimed at restoring/conserving movable cultural heritage
Documents proving the applicant’s right of ownership/management/use, valid from the date of the submission of the project and for at least 5 years following the approval of the final report of the project is included and meets all the requirements (copy of the original document);
Order of the Minister of Culture on the designation of cultural heritage assets targeted by the project is included and meets all the requirements (copy of the original document)
Restoration methodology, accompanied by the initial estimate and the schedule of the restoration, approved by a specialist/expert who is certified by the Ministry of Culture, for each asset, is included and meets all the requirements (original document)
- for projects related to digitisation of heritage goods and and/or of archives catalogues, inventories and creating databases
The owner’s consent on the digitisation of the materials included in the project, if the cultural assets are not part of the public domain and the owner’s consent on digitisation and public communication is included and meets all the
35
requirements (original document)
The applicant’s commitment to use the europeana.eu database standard and to input the digitised materials in this database is included and meets all the requirements (original document)
Document proving the transfer of copy rights to the applicant for the databases and software that are to be created and/or used as part of the project is included and meets all the requirements (original document)
Document proving the existence of the adequate space, assigned for the purpose of the project, valid from the date of the submission of the project and for at least 5 years after the completion of the project, if applicable, is included and meets all the requirements (copy of the original document)
- For projects aimed at creating and developing museums and cultural venues:
new buildings
Document proving the applicant's right of ownership/public management over the land where the investment is to be made, valid from the date of the submission of the project and for at least 5 years following the approval of the final report of the project is included and meets all the requirements (copy of the original document)
Town planning certificate is included and meets all the requirements (copy of the original document)
Feasibility study, conducted over the past 2 years, including a summary in English (original document), accompanied by all the legal permits and endorsements requested in the Town Planning Certificate (copy of the original document) are included and meet all the requirements
Building permit, if issued, is included and meets all the requirements (copy of the original document)
The list of cultural heritage assets that will be included in the initial heritage of the museum or of the public collection including the name of the asset, the name of the author and the source of the asset is included and meets all the requirements (original document)
The owner’s consent on exhibiting the cultural heritage assets in the museum from the date of the submission of the project and at least 5 years after the completion of the project is included and meets all the requirements (original document)
The project and theme of the exhibition, reflecting the quality and the innovative approach of the initiative is included and meets all the requirements (original document)
The strategic development project for 5 years following the commissioning is included and meets all the requirements (original document)
Landscaping and fitout works
Document proving the right of ownership/management/concession over the venue for
36
public authority applicants and, respectively, the right of ownership/concession for private entity applicants, or the right to use free of charge of the public utility organisations, valid from the date of the submission of the project and for a at least 5 years following the completion of the project (copy of the original document) is included and meets all the requirements (original document)
The owner’s consent on the implementation of the project, in all cases where the applicant is not the owner is included and meets all the requirements (original document)
Decision on the registration into the Land Registry (copy of the original document), and Land Registry excerpt (original document) are included and meet all the requirements;
The list of cultural heritage assets that will be included in the initial heritage of the museum or of the public collection, including the name of the asset, the name of the author and the source of the asset is included and meets all the requirements (original document)
The owner's consent on exhibiting the cultural heritage assets in the museum from the date of the submission of the project and at least 5 years after the completion of the project is included and meets all the requirements (original document
The project and the theme of the exhibition, reflecting the quality and the innovative approach of the initiative is included and meets all the requirements (original document)
The strategic development project for 5 years following the commissioning is included and meets all the requirements (original document)
- for projects aimed at creating/showcasing inventories of the cultural or historical collections of minorities
The owner's consent on the digitisation of the materials included in the project, if the cultural assets are not part of the public domain and the owner's consent on digitisation and public communication, subject to provisions on the protection of personal data is included and meets all the requirements (original document)
The applicant's commitment to use the standard of interoperability with the databases created by the Ministry of Culture (ex DocPat), of the europeana.eu database standard and to input the digitised materials in this database is included and meets all the requirements (original document)
Document proving the transfer of copy rights to the applicant for the databases and software that are to be created and/or used as part of the project is included and meets all the requirements (original document);
Document that proves the existence of the adequate space, assigned for the purpose of the project, valid from the date of the submission of the project and for at least 5 years after the completion of the project is included and meets all the requirements (copy of the original document)
37
- for projects aimed at organising exhibitions and events related to the cultural and ethnic heritage of minorities
The owner's consent on exhibiting the cultural heritage assets included in the project is included and meets all the requirements (original document)
The project and the theme of the exhibition, reflecting the quality and the innovative approach of the initiative are included and meet all the requirements (original document)
The online visibility project for 5 years following the completion of the project is included and meets all the requirements (original document)
II. ELIGIBILITY
The applicant meets all the requirements provided in the Guide on the eligibility of applicants
Each project partner meets all the requirements provided in the Guide on the eligibility of applicants
The grant requested is within the thresholds provided by the Guide, i.e. the minimum amount of EUR 200,000 and the maximum amount of EUR 2,000,000 euro
The exchange rate used is the correct one
The grant requested does not exceed 90% of the total eligible expenditures in the case of private entities
The in-kind contribution does not exceed 50% of the co-financing, in the case of private entities
The calculation method used for management expenditures, indirect expenditures and unforeseen expenditures observes the requirements provided in the Guide
The value of the grant aimed at the applicant is at least 60% of the total grant requested
The activities provided in the application are eligible
The target group(s) of the project is part of the target groups provided in the present call for projects
The project observes the cross-cutting issues and the horizontal issues relevant for its specificities
The duration of implementation of the project does not exceed the date of 30 April 2016
Note! For all documents, annexes and forms, the following will be checked: they have been included, they comply with the formats/models required (if applicable), they are still valid, they bear all appropriate signatures and stamps and they are registered with or issued by competent bodies (if applicable) .
Only the projects marked with „YES” in all sections will qualify for the next evaluation stage. In order to check the compliance with the administrative and eligibility criteria, the Programme Operator may request for clarifications/additional information/documents.
38
The request will be sent by email (to the address indicated in the application), and the responses to the request for clarifications must be sent by the applicant in writing, by email, fax or courier, within maximum 5 working days from the date of the request. The original documents will be later sent by courier/post/ or submitted personally within 5 working days from the submission of the electronic response. If the requested information is not submitted within the deadline, the application will be rejected. Applicants will be informed in writing about the results of the verification of administrative conformity and eligibility, i.e. if the application meets the qualification requirements in order to move on to the next stage of technical and financial evaluation. An applicant whose application was rejected may re-submit it, provided that the submission is made before the final deadline provided in the present Guide.
11.2 Technical and financial evaluation
The technical and financial evaluation of the applications submitted under this call for projects will be carried out based on the evaluation and selection criteria approved by the EEA Financial Mechanism Office.
Every application that complies with the administrative and eligibility criteria will be checked by two independent experts. The experts will assess the project independently, in compliance with the technical evaluation grid presented below. The final score will consist in the average of the scores awarded by the two experts. If the difference between the scores awarded by the two experts exceeds 30% of the maximum score, a third expert will be appointed to score the application. The final score will consist in the average of the closest two scores.
The technical and financial evaluation of the projects submitted within this call for projects will be made based on the following evaluation grid:
Criteria Max score
I. Quality and innovation 15
I.1. Overall project quality 8
I.2. Innovation of the approach, methods and techniques put forward by the project17 7
II. Project relevance 30
II.1. Relevance of the project for the identified needs 10
a. Arguments for the need to implement the project 5
b. Methods to address the identified needs 5
II.2. Contribution to the objectives of the Programme 718
17
The ability of the project to offer alternatives and new and innovative methods in the field of protecting
and showcasing the cultural and natural heritage, including the use of new technologies, will be scored
39
- safeguarding and conserving the cultural and natural heritage for future generations and making it publicly available
- protecting the Romanian cultural heritage
- development of communities by improving their tourist and investment attractiveness through the conservation, restoration and valorisation of cultural heritage
- conservation and valorisation of intangible heritage with an aim towards strengthening cultural identity of ethnical and cultural minorities, including Roma population
II.4. Coherence with national and/or relevant European policies for the cultural sector
2
II. 5. Contribution to the EEA Financial Mechanism objectives 4
a. reducing economic and social disparities in the European Economic Area 2
b. strengthening bilateral relations between Romania and the Donor States 2
II.6. Partnerships with organisations in the Donor States 5
a. Level of involvement of project partners in the design and implementation of the project
3
b. Measures envisaged for encouraging long term partnership 2
II.7. Relevance for cross-cutting issues 2
III. Project feasibility 30
III.1. Implementation capacity and experience of applicant and partner(s) 8
a. Implementation capacity and experience in project management of applicant and partner(s)
4
b. Competences of applicant and partner(s) in the field of the project 4
III.2 Methodology of the project 12
a. SMART objectives and realistic results 2
b. Correlation of activities with project objectives and expected results 3
c. Project coherence with the implementation schedule 3
d. Risk management and mitigation plan 2
e. Internal evaluation and monitoring 2
18
For this section, the quality of the contribution will be scored, not the number of objectives to which the
project contributes.
40
III. 3 Budget 10
a. Cost effectiveness 5
b. Coherence of estimated expenditures with planned activities and results 5
IV. Project impact 25
IV.1. Visibility and/or audience reached 5
IV.2. Social, economic and cultural benefits created by the project for the local community
10
IV. 3. Capacity of further dissemination and use of results 519
IV.4. Sustainability of project results ensured in terms of financial, organizational and functional perspective
5
Total score 100
In order to be proposed for grants, a project must have at least 70 points. If the score is zero for any of the four sections (I-IV) of the evaluation grid, the project will be rejected.
Note! Applications will be excluded from the evaluation and selection process if it is found that the applicant and/or his partners have attempted to obtain confidential information or to influence the PO employees or evaluators during the evaluation process.
11.3 Project selection procedure
According to the Regulation of the EEA Financial Mechanism 2009-2014, the Programme Operator will establish a selection committee that will select the projects to be funded based on the score obtained in the previous stage, the objectives and results of the program. FMC, NFP and the Programme Partner (Directorate for Cultural Heritage in Norway) will attend meetings of the Selection Committee as observers. The Programme Operator will submit to the Selection Committee the list of projects, listed in the order of score awarded by the independent experts. The Selection Committee will send to the Programme Operator the list of selected projects. The Programme Operator will notify the participants on the result of the selection process.
The projects scored with at least 70 points, but for which there are no funds available will be placed on a reserve list. The projects included in this list will be able to receive grants, to the extent of funds available, if the applicants selected for financing do not meet the criteria in the contracting stage.
19
The description of the measures provided for transferring the results to various sectors (educational,
economic, political, social, etc. and the extent to which the project is likely to become a best practices model will be scored
41
The grant contract is the legal deed concluded between the Programme Operator and the Project Promoter, whereby a grant is approved for a project under the Programme.
All the applicants whose applications were selected for grants will be notified and requested to provide the following documents for the drafting and signing of the grant contract:
articles of incorporation and/or registration documents, in authenticated copy
(e.g. articles of association including subsequent amendments, court ruling,
Fiscal Identification Code, VAT number, etc.) for the Applicant;
articles of incorporation and/or registration documents, in authenticated copy
(e.g. articles of association including subsequent amendments, court ruling,
Fiscal Identification Code, VAT number, etc.) for each Partner;
the ID document of the Applicant’s legal representative and financial
manager/accountant - copy of the original document;
a document certifying the status of representative of the Applicant mandated to
sign the grant contract - original document;
certificates issued by the General Directorate for Public Finance and by the town
halls where the organizations have their headquarters and subsidiaries to certify
that they have no tax or social security debts and, if applicable, the schedule of
payment of debts to the consolidated budget for the Applicant and for each
Partner (original document);
certificate of fiscal record, in original, issued by the competent tax authorities
(General Directorate for Public Finances – Ministry for Public Finance) for the
Applicant and for each Partner – original document;
VAT registration certificate, (if applicable) – copy of the original document;
CVs of all the project team members - original document;
partnership agreement (if applicable), filled in according to the template - original
document;
financial identification document - original document, according to the template,
certified by the bank where the Applicant’s project special account is open -
original document;
other documents requested in the notification sent to the applicant, in order to make proof of meeting the requirements for signing the grant contract.
The Programme Operator recommends potential applicants to read the grant contract carefully, as it contains all the conditions for awarding the grant; by signing it, the Applicant undertakes the sole responsibility for implementing the project and for fulfilling its objectives, as provided in the application. If the Applicant meets all the requirements for signing the Grant Contract, the Programme Operator shall send the contract to the Applicant, who shall sign it and stamp it and return it within maximum 5 days following the reception.
12. CONTRACTING
42
The contract will become effective after being signed by the last contracting party and the applicant becomes Project Promoter.
Note! If the grant contract is not returned to the Programme Operator in due time, the project will be rejected.
In order to receive the advance payment, the Project Promoter is required to open an account dedicated solely to receiving such amounts and to carrying out project-related expenditures, including the transfer of amounts to the partners, for projects implemented in partnership.
The Project Promoter shall keep a separate financial-accounting record of revenues and expenditures arising from the project. The accounting records and audit procedures have to be able to provide the accurate direct harmonization/direct correspondence of revenues and expenditures corresponding to the project with the accounting statements and the supporting documents.
Direct eligible expenditures shall be supported by original supporting documents (invoices accompanied by payment documents or other supporting accounting documents equally able to justify the expenditures). No supporting documents are required for indirect eligible expenditures, but they have to be registered in the accounting system of the Project Promoter.
13.1 Provisions regarding payments The Programme Operator will make advance payments, interim payments and final balance payments to the Project Promoters:
The value of the advance payment is determined in the grant contract of each project. The amount requested should not exceed the estimated expenditures for the first 2 reporting periods; the maximum is 30% of the total grant awarded. The advance payment is made based on request submitted by the project promoter.
Interim payments shall be based on interim progress reports completed by the Project Promoter and approved by the Programme Operator, provided that at least 70% of the amount previously paid to project promoters is justified by the Project Promoter by means of accounting documents.
Payment of the final balance shall be made after the approval of the final project report. The Programme Operator may withhold up to 10% of the total project grant to pay the final balance; this amount will be paid within 15 working days after the approval of the final report of the project
Payments should be made by the Project Promoter within the eligibility period, as defined in the grant contract. The Project Promoter is allowed to make financial reallocations between budget lines up to a maximum of 10% of the initial allocation of a budget line of eligible costs, with prior notification sent to the Programme Operator. During the project implementation, only one such reallocation of a budget chapter is allowed, with prior notification. Should the
13. IMPLEMENTATION AND FINANCIAL MANAGEMENT
43
limit of 10% of for a chapter budget reallocation be exceeded, an addendum to the contract has to be signed. The Project Promoters and their partners may contract independent audit services for certifying the expenditures incurred. Payments may be suspended if there are suspicions that the project is not implemented in compliance with the provisions of the grant contract.
13.2 Reporting
The project Promoters shall complete Interim Progress Reports and a Final Report. As a general rule, an interim report should cover a reporting period of 4 months. The exact reporting periods are determined under each grant contract. The content and the form of the Interim Progress Reports are detailed in Annex 8; they will contain the following mandatory categories of information:
a) Project implementation stage, the degree to which the objectives have been
fulfilled, information on public procurement procedures, promotion and visibility,
meeting the requirements on the cross-cutting issues and the horizontal themes
of the Programme, activities schedule, changes in the implementation (if
relevant), risk management, etc. (technical report);
b) Financial stage of the project, including a list of expenditures incurred in the
previous reporting period and the pre-financing request for the expenditures
estimated for the following reporting period, supporting financial documents,
evaluation/financial audit reports, if applicable etc. (financial report).
Final reports will contain the same categories of information as the interim progress reports. Additionally, these final reports will include information related to meeting the overall objective of the project, the manner of addressing the cross-cutting issues relevant to the project, meeting the conditions of the project and project sustainability. These reports will be submitted by the project promoters in both electronic and printed format throughout the project implementation. Interest on bank account of the project will be declared annually, no later than 1 February and will be reimbursed by the Programme Operator, as set out in the grant agreement, within 10 working days from the date of declaration.
13.3 Verification and approval of reports
The Programme Operator will verify all expenditures incurred in the project, in compliance with the procedures of the Programme and Regulations of the EEA Financial Mechanism. The interim payments will be made after the following verification steps:
verification of all expenditures declared by the Project Promoters, in order to ensure that they were properly made, in compliance with the laws and procedures in force;
verification of project implementation stage, indicators, expenditures and eligibility and their correlation with the progress of project activities;
verification of eligibility, accuracy and compliance of payment requests.
44
When checking the expenditures made by Project Partners from Donor Countries, a report written by an independent auditor, certifying that the payments requested by the partner to be reimbursed by the project promoter were made in compliance with the provisions set out in the Programme and in the Regulation, with the national legislation and with the accounting practices applicable in the country of the Project Partner is considered sufficient proof that they payments have been made.
13.4 Monitoring the implementation of the projects
Throughout the implementation period, Programme Operator shall conduct the technical and administrative monitoring of projects funded, by: analysing progress reports accompanied by supporting documents, field visits conducted at the premises of the projects and additional audits/verifications. During the visits to project sites, monitoring officers will check the implementation of projects in compliance with the provisions set out in the Regulation and in the grant contract. Also, the Programme Operator will monitor the public procurement procedures, the expenditure effectiveness, and the extent to which the objectives have been fulfilled, the indicators, the impact and the results of the project. Throughout the implementation period, at least one visit will be conducted at the project site, during a key activity provided in the application. If project activities are conducted in other locations than the one provided in the project, then the visit is conducted at the venue of the activity targeted. Project Promoters and their partners (if applicable) are required to provide full and immediate access to any information, documents, relevant persons and venues related to the operations conducted under the project to the representatives of the Programme Operator, National Focal Point, Audit Authority, Certifying Authority, FMC, Council of EFTA Auditors or any entity designated by these organizations in order to carry out monitoring, auditing, control and evaluation, without prejudice to the limitations arising from the national legislation in force. Exceptionally, if there are unclear aspects found in the implementation of the project, the Project Promoter may be invited to the headquarters of the Programme Operator for further verifications.
13.5 Provisions regarding irregularities In compliance with applicable national legislation and with the provisions of Chapter 11 of the EEA Financial Mechanism Regulations, the term of irregularity covers any deviation from the legality, regularity and compliance with national and/or European legislation and with the framework for the implementation of the EEA Financial Mechanism, as well as with the provisions of contracts or other arrangements legally concluded under these provisions, resulting from an action or failure to take action of the recipient or of the authority in charge with the grant management, which has damaged or may damage the budget of the EEA Financial Mechanism and/or the related national public funds by an undue payment of an amount. Any person who has information on the existence of irregularities in the implementation of projects funded under the Programme may notify them in writing:
by post or personally to the PO headquarters or
45
by e/mail at: [email protected].
Notifications on irregularities shall contain data required to identify the project or to locate the Project Promoter, otherwise they will not be accepted for review and verification. In this respect, it is recommended to use of the standard form posted on the official website of the programme. Notifications on irregularities can be submitted anonymously or signed; they will not draw unfair or discriminatory treatment of the sender. Confidentiality regarding the whistle-blower’s identity will be strictly observed. Based on the detection of irregularities which have been submitted for primary administrative verification, including the findings in the inspection/audit reports submitted to the Programme Operator by the competent administrative or judicial authorities, the Programme Operator shall report the irregularities found, in compliance with the requirements for reporting irregularities (as provided in the Chapter 11 of the Regulations of the EEA Financial Mechanism).
In order to highlight the EEA Grants role and to ensure transparency and visibility of the Financial Mechanism, Project Promoters should provide information on the projects implemented to a wide audience at national, regional and/or local level, including the relevant stakeholders. To this end, the project promoter should develop and implement a Publicity Plan for the project. The Publicity Plan aims at raising awareness on the existence, the objectives and the impact of the Financial Mechanism and on the cooperation with entities in the Donor States (for projects implemented in partnership). The publicity plan should have the following mandatory components 1. the goal of the project and the target group at national, regional and/or local level;
2. the strategy and content of the information and publicity actions, including the activities envisaged, the means of communication and the period for implementing them, taking into consideration the added value and the impact of the Financial Mechanism;
3. at least 3 (three) actions of information on the progress, and, respectively, the results of the project. The activities may be as follows: a seminar, a conference attended by beneficiaries, a press conference or press event, including for the launch and/or completion of the project; for projects granted with up to EUR 500,000, 2 actions of information are sufficient.
For the information events mentioned above, the organizers undertake to state the EEA Grants support in an explicit and visible manner and to use the specific logo (image/logo), in compliance with the requirements set out in the Handbook of communication and visual identity.
4. online information measures, through a dedicated project website or through a dedicated page on an existing website, subject to the following obligations:
each Project Promoter shall publish updated information on the internet, in a bilingual version (RO/EN);
14. INFORMATION AND PUBLICITY MEASURES
46
each project receiving a grant amounting to at least EUR 50,000 shall have a dedicated website/page;
each project receiving a grant amounting to at least EUR 150,000 or developed in partnership shall have a dedicated bilingual (RO/EN) website/page.
Information published online will refer to the project, the stage of progress, achievements and results, cooperation with entities in the Donor States, photographs, contact information and clear references on the Programme and on the Financial Mechanism.
5. details on the administrative structures responsible for the implementation of information and publicity actions, including a contact person;
6. details on the manner in which the information and publicity actions will be evaluated in terms of transparency, project and Financial Mechanism visibility, their objectives and impact and role of Donor States.
All the information and publicity materials on the EEA Grants created by the Project Promoter must comply with the requirements set out in the Handbook of communication and visual identity on the use of logos, billboards, plaques, posters, publications, websites and audio-visual materials. Throughout the implementation of the project, the Project Promoter shall install a billboard on the premises of the project, in compliance with the requirements set out in the Handbook of communication and visual identity, if the project meets the following conditions:
the grant exceeds EUR 50,000 ;
the grant covers the procurement of utilities and fittings, equipment or the
execution of construction/protection/conservation/restoration works.
No later than six months following the completion of the project, the Project Promoter shall replace the billboard with a permanent plaque, visible, of significant dimensions, which complies with the Manual of communication and visual identity.
All potential Applicants should access the webpage of the Programme on a periodic basis in order to have up-to-date information on the present call for projects. Moreover, information sessions and conferences will be organised; the dates and venues will be announced on the webpage of the Programme: www.fonduri-patrimoniu.ro. Potential Applicants can address queries concerning this call for projects by e-mail, telephone or fax by April 7, 2014 (including) at:
E-mail: [email protected] Telephone/Fax: 021-2228479, 021-2244512
Queries that are of interest to other applicants will be published, along with the answers, on the webpage of the Programme.
15. QUERIES
47
For further information, please contact:
Project Management Unit – Ministry of Culture Bd. Unirii no 22, Bucharest, Romania E-mail: [email protected] Telephone/Fax: 021-2228479, 021-2244512.
The contact details for finding a partner in Norway, Iceland and Liechtenstein:
Norway Jørgen Holten Jørgensen Riksantikvaren - Directorate for Cultural Heritage P.O.Box 8196 Dep. N-0034 Oslo, Norway Tel.: (+47) 22 94 04 00 E-mail: [email protected]
Iceland Agnes Stefánsdóttir Minjastofnun Íslands - The Cultural Heritage Agency of Iceland Suðurgötu 39 101 Reykjavík, Iceland Tel: (+354) 570 1300 - Fax: (+354) 570 1301 E-mail: [email protected]
Liechtenstein Kerstin Appel-Huston Ministerium für Äusseres, Bildung und Kultur – Ministry of Education and Culture Peter-Kaiser-Platz 1, Regierungsgebäude 9490 Vaduz, Liechtenstein Tel. (+423) 236 6024 E-mail: [email protected]
16. CONTACT DETAILS
48
ANNEXES
1. Application form – Annex 1 2. Project budget – Annex 2 3. Applicant’s statement of eligibility– Annex 3 4. Partner’s statement of eligibility– Annex 4 5. Letter of intent on the partnership – Annex 5 6. Statement of commitment – Annex 6 7. Statement of conformity – Annex 7 8. Template for the interim progress report – Annex 8 9. Template for the grant contract – Annex 9
